This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients for the following classes of financial products:
deposit and payment products including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
life products including:
investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
interests in managed investment schemes including:
investor directed portfolio services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility; and
superannuation;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients in respect of the following classes of financial products:
interests in managed investment schemes excluding investor directed portfolio services; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person to retail and wholesale clients in respect of the following classes of products:
deposit and payment products including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
life products including:
investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
interests in managed investment schemes including:
investor directed portfolio services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility; and
superannuation; and
provide the following custodial or depository services to wholesale clients:
operate custodial or depository services other than investor directed portfolio services.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Aivy Ngo | 2010 | Bachelor of Business (Economics & Finance) - RMIT ~ Diploma of Financial Planning - Kaplan Professional Education ~ Graduate Diploma of Financial Planning - Kaplan Professional Education ~ Master of Financial Planning - Kaplan Professional ~ SDIA Accreditation Program Assessment - Securities & Derivatives Industry Association |
| Anthony Michael Moustacas | 2015 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Economics (Economics and Finance) - University of Sydney ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Applied Finance - Kaplan Professional |
| Ben Cooper | 2011 | Bachelor of Commerce - University of Natal ~ Diploma od Financial Services (Financial Planning) - Kaplan ~ Economic and Legal Context for Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Tax and Commercial Law for Financial Planning - Kaplan Professional |
| Benjamin Ross Lieberman | 2016 | Bachelor of Economics - La Trobe University ~ Diploma of Financial Planning - Mentor Education ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Edis Koch | 2012 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Bachelor of Commerce (Finance) - Macquarie University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Hongyi (henry) HE | 2017 | Bachelor of Commerce (Professional Accounting) - Macquarie University ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Ivan Oulianoff | 2016 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce - Flinders University ~ Bachelor of Laws and Legal Practice - Flinders University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Jerome Garrett Carlin | 2016 | Bachelor of Economics - Monash University ~ Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Services - AFMA ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Grad Diploma Applied Finance - Securities Institute of Australia |
| Jessica Pramana | 1999 | Bachelor of Commerce - University of Sydney ~ Bachelor of Law - University of Technology, Sydney ~ Diploma of Financial Planning - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Law - University of Sydney |
| Joel Robinson | 2004 | Accredited Derivatives Adviser (Level 1) - Kaplan ~ Bachelor of Commerce (Banking and Finance) - University of Queensland ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Applied Finance and Investment - Securities Institute ~ Graduate Diploma of Financial Planning - Securities Institute |
| Joel Siegersma | 2010 | Bachelor of Business (Banking and Finance) - Monash University ~ Diploma of Financial Planning - Kaplan ~ Economic and Legal Context for Financial Planning - Kaplan Professional ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia/DeakinPrime ~ SIDA Accreditation Program - Stockbrokers Association of Australia/DeakinPrime |
| Jonathan Toh | 2022 | Bachelor of Business (Financial Planning) with Distinction - Royal Melbourne Institute of Technology ~ FASEA Financial Adviser Exam - FASEA ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Josephine Smith | 2015 | Bachelor of Commerce (Business Law) - Curtin University of Technology ~ Client Engagement Skills - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Economic and Legal Context for Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Kate Jemma Blake | 2014 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Commerce - Griffith University ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Kate O'callaghan | 2001 | Diploma of Financial Planning - Financial Planning Association of Australia, Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Financial Planning - University of Sunshine Coast |
| Michelle Kelly | 2001 | Accredited Derivatives Adviser (Level I) - Kaplan ~ Diploma of Financial Planning - FPA ~ Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Neil Francois Dedrie | 2000 | Bachelor of Commerce (Banking, Finance and Risk Management) - Griffith University ~ Diploma of Financial Planning - FPA ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Masters Of Professional Accounting - Griffith University ~ Self Managed Superannuation Funds - Kaplan |
| Nektarious Kritikos | 2003 | Bachelor of Mathematics and Finance - Wollongong University ~ Commercial Law - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan ~ Tax for Financial Advising - Kaplan Professional |
| Pasqualino Salzano | 2023 | Bachelor of Commerce - Deakin University ~ MLC101 Law for Commerce - Deakin University ~ MLC301 Principles of Income Tax Law - Deakin University |
| Robert Larden | 2015 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Commerce (Economics and Finance) - Griffith University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Securities & Managed Investments - Deakin Prime |
| Tony Russel Joshua John | 2016 | Bachelor of Science - Bharathidasan University - India ~ Diploma of Financial Planning - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Post Graduate Diploma in Management (Marketing) - Institute for Technology and Management - India ~ Securities and Managed Investments - Kaplan |
| William Panagis | 2013 | Advanced Diploma of Financial Services - Kaplan ~ Bachelor of Economics (Banking and Finance) - University of Western Sydney ~ Certified Financial Planner (CFP) - FPA ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Applied Finance - Kaplan |
| Yilian Zhao | 2012 | Advanced Diploma of Financial Services - Kaplan Professional ~ Bachelor of Financial Management - NanKai University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Commerce Major in Finance - University of Sydney ~ Master of Professional Accounting - University of Sydney |